Broker-Dealer Firms
80,028 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| Shearson Financial Services, LLC CRD: 38619 | FL | 8 | 6 | B | Active |
| Shearson Lehman Brothers Inc. (Puerto Rico) CRD: 11041 | - | 0 | 0 | A | INACTIVE |
| Shearson Pacific CRD: 16957 | - | 0 | 0 | A | INACTIVE |
| Shearwater Capital CRD: 115399 | - | 0 | 4 | - | Unknown |
| Shearwater Securities Corporation CRD: 13103 | - | 0 | 0 | A | INACTIVE |
| Shecapital CRD: 168555 | - | 0 | 0 | - | Unknown |
| Shechina Ventures LLC CRD: 331989 | - | 0 | 1 | - | Unknown |
| Sheehan & Purcell Securities Inc. CRD: 25170 | - | 0 | 0 | A | INACTIVE |
| Sheeley & Partners Wealth Management, LLC CRD: 109013 | - | 0 | 1 | - | Unknown |
| Sheen Falls Strategies, LLC CRD: 164016 | - | 0 | 0 | - | Unknown |
| Sheen Financial Resources, Inc. CRD: 22498 | - | 0 | 0 | A | INACTIVE |
| Sheer Empowerment Financial, LLC CRD: 321200 | - | 0 | 1 | - | Unknown |
| Sheets Smith Investment Management, LLC CRD: 293992 | - | 0 | 0 | - | Unknown |
| Sheets Smith Wealth Management CRD: 105710 | - | 0 | 8 | - | Unknown |
| Sheffield & Company, Inc. CRD: 17734 | - | 0 | 0 | A | INACTIVE |
| Sheffield Asset Management, L.L.C. CRD: 137065 | - | 0 | 1 | - | Unknown |
| Sheffield Investments LLC CRD: 170443 | - | 0 | 0 | - | Unknown |
| Sheffield Investments, Inc. CRD: 17512 | - | 0 | 0 | A | INACTIVE |
| Sheffield Securities, Inc. CRD: 16475 | - | 0 | 0 | A | INACTIVE |
| Sheikh Investments, Inc. CRD: 305832 | - | 0 | 1 | - | Unknown |
| Sheila Jeanne Graham, CFP CRD: 112454 | - | 0 | 0 | - | Unknown |
| Shelbourne Securities, LLC CRD: 132972 | - | 1 | 0 | B | INACTIVE |
| Shelby Cullom Davis & Co., L.P. CRD: 767 | - | 7 | 0 | D | INACTIVE |
| Shelby Financial Group, Inc. CRD: 132033 | - | 0 | 0 | - | Unknown |
| Shelby Wealth Management CRD: 127389 | - | 0 | 0 | - | Unknown |
| Sheldon Financial Planning CRD: 284875 | - | 0 | 0 | - | Unknown |
| Shell Equities Corporation CRD: 10535 | - | 0 | 0 | A | INACTIVE |
| Shellback Capital, LP CRD: 169642 | - | 0 | 1 | - | Unknown |
| Shellcrest Financial LLC CRD: 340316 | - | 0 | 1 | - | Unknown |
| Sheller Wealth Management, Inc. CRD: 289794 | - | 0 | 1 | - | Unknown |
| Shellpoint Advisors LLC CRD: 283320 | - | 0 | 0 | - | Unknown |
| Shellpoint Capital LLC CRD: 159433 | - | 0 | 0 | A | INACTIVE |
| Shelman Securities Corp. CRD: 39795 | - | 7 | 0 | D | INACTIVE |
| Shelter Financial Services, Inc. CRD: 14087 | - | 0 | 0 | A | INACTIVE |
| Shelter Growth Capital Partners LLC CRD: 170685 | - | 0 | 1 | - | Unknown |
| Shelter Harbor Advisors, LP CRD: 285752 | - | 0 | 0 | - | Unknown |
| Shelter Haven Capital Management, L.P. CRD: 289220 | - | 0 | 0 | - | Unknown |
| Shelter Investments, Inc. CRD: 15221 | - | 0 | 0 | A | INACTIVE |
| Shelter Island Ventures, LLC CRD: 326371 | - | 0 | 1 | - | Unknown |
| Shelter Island Wealth Advance CRD: 314349 | - | 0 | 0 | - | Unknown |
| Shelter Island Wealth Advance CRD: 332783 | - | 0 | 0 | - | Unknown |
| Shelter Rock Capital Group LLC CRD: 156753 | NY | 0 | 2 | A | Active |
| Shelter Rock Management, LLC CRD: 142739 | - | 0 | 4 | - | Unknown |
| Shelter Rock Securities Corp. CRD: 11043 | - | 0 | 0 | A | INACTIVE |
| Shelter Securities Corporation CRD: 10026 | - | 0 | 0 | A | INACTIVE |
| Shelter Wealth Strategies, LLC CRD: 170655 | - | 0 | 10 | - | Unknown |
| Shelterbelt Advisors CRD: 331767 | - | 0 | 1 | - | Unknown |
| Sheltered Equities Corporation CRD: 13769 | - | 0 | 0 | A | INACTIVE |
| Sheltered Garden Financial Group LLC CRD: 335217 | - | 0 | 1 | - | Unknown |
| Shelton Capital Management CRD: 104720 | - | 0 | 7 | - | Unknown |